-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, G73FZzEvizieJZejQFxC3navBUbBZ+XVnYFX4lAcwc+UycTEhlxHT8VqlQxANlsQ fpS0iG8/PiW7vuqdPSa+qQ== 0000914121-03-000135.txt : 20030211 0000914121-03-000135.hdr.sgml : 20030211 20030211142355 ACCESSION NUMBER: 0000914121-03-000135 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021231 FILED AS OF DATE: 20030211 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: OXIGENE INC CENTRAL INDEX KEY: 0000908259 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 133679168 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21990 FILM NUMBER: 03549808 BUSINESS ADDRESS: STREET 1: 321 ARSENAL STREET CITY: WATERTOWN STATE: MA ZIP: 02472 BUSINESS PHONE: 6176737800 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: EPPNER GERALD A CENTRAL INDEX KEY: 0001053634 STANDARD INDUSTRIAL CLASSIFICATION: PERFUMES, COSMETICS & OTHER TOILET PREPARATIONS [2844] RELATIONSHIP: DIRECTOR STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: ONE LOVELL AVE CITY: MILL VALLEY STATE: CA ZIP: 94941 BUSINESS PHONE: 4153808200 MAIL ADDRESS: STREET 1: ONE LOVELL AVE CITY: MILL VALLEY STATE: CA ZIP: 94941 5 1 ox666316_f5.txt STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP - ------------------------- ------------------------------ FORM 5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB Approval - ------------------------- WASHINGTON, D.C. 20549 ------------------------------ [ ] Check box if no OMB Number: 3235-0362 longer subject to Expires: January 31, 2005 Section 16. Form 4 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Estimated average burden or Form 5 obligations hours per response.......1.0 may continue. See ------------------------------ Instruction 1(b). Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, [ ] Form 3 Holdings Section 17(a) of the Public Utility Holding Company Act of 1935 or Reported Section 30(f) of the Investment Company Act of 1940 [ ] Form 4 Transactions Reported
- ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name AND Ticker or Trading Symbol 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) OXiGENE, Inc. OXGN Eppner Gerald A [X] Director [ ] 10% Owner --------------------------------------- ---------------------------------------------- [ ] Officer (give [ ] Other (specify (Last) (First) (Middle) 3. I.R.S. Identification 4. Statement for title below) Number of Reporting Month/Year below) Person, if an entity c/o OXiGENE, Inc. (Voluntary) 12/31/02 321 Arsenal Street ------------------------------------ --------------------------------------- ------------------------------------------------------------- (Street) 5. If Amendment, 7. Individual or Joint/Group Reporting Date of Original (Check Applicable Line) (Month/Year) [X] Form Filed by One Reporting Person Watertown, Massachuseets 02472 [ ] Form Filed by More than One --------------------------------------- Reporting Person (City) (State) (Zip) - ------------------------------------------------------------------------------------------------------------------------------------ TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 3. Transaction 4. Securities Acquired (A) 5. Amount of 6. Ownership 7. Nature of (Instr. 3) action Code (Instr. or Disposed of (D) Securities Form: Indirect Date 8) (Instr. 3, 4 and 5) Beneficially Direct (D) Beneficial (Month/ Owned at end or Indirect Ownership Day/ of Issuer's (I) (Instr. 4) Year) Fiscal Year (Instr. 4) (Instr. 3 and 4) - ------------------------------------------------------------------------------------------------------------------------------------ Amount (A) or (D) Price - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 02/02/02 A 80,000 A (1) 82,000 D N/A - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ * If the form is filed by more than one reporting person, see Instruction 4(b)(v). POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. Page 1 of 2 SEC 2270 (01-02)
FORM 5 (continued) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date 7. Title 8. Price 9. Number 10. Owner- 11. Nature of of sion or action action Derivative Exer- and of of ship of Indirect Deriv- Exercise Date Code Securities cisable Amount Deriv- Deriv- Deriv- Beneficial ative Price of (Month/ (Instr. Acquired (A) and Expir- of ative ative ative Ownership Secu- Deriv- Day/ 8) or Disposed ation Under- Secu- Secu- Security: (Instr. 4) rity ative Year) of (D) Date lying rity rities Direct (Instr. Security (Instr. 3, (Month/ Securi- (Instr. Benefi- (D) or 3) 4, and 5) Day/ ties 5) cially Indirect Year) (Instr. Owned (I) 3 and 4) at end (Instr. of 4) Year (Instr. 4) ---------------------------------------------------- (A) (D) Date Expir- Title Amount Exercis- ation or able Date Number of Shares ----------------------------------------------------- - ------------------------------------------------------------------------------------------------------------------------------------ Option for Common Stock 10.00(2) 02/02/02 J(2) 49,144 (3) 12/14/08 Common 49,144 N/A 0 D N/A (right to buy) Stock - ------------------------------------------------------------------------------------------------------------------------------------ Option for Common Stock 10.50(2) 02/02/02 J(2) 10,856 (4) 6/29/09 Common 10,856 N/A 0 D N/A (right to buy) Stock - ------------------------------------------------------------------------------------------------------------------------------------ Option for Common Stock 7.25(2) 02/02/02 J(2) 20,000 (5) 11/13/10 Common 20,000 N/A 0 D N/A (right to buy) Stock - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: (1) Acquired pursuant to a compensation award stock agreement with OXiGENE, Inc. (the "Company") for past services rendered as a director to the Company. (2) At the election of Mr. Eppner, the options were forfeited and cancelled as provided in the option agreement between Mr. Eppner and the Company. Mr. Eppner disclaims any obligation to report such forfeiting and cancellation of the options and reporting on this Form 5 has been done voluntarily. (3) 19,657 exercisable as of 12/14/99; 9,829 exercisable as of 11/24/00, 11/24/01 and 11/24/02 respectively. (4) Exercisable in five equal annual installments beginning as of 6/29/00. (5) Exercisable in five equal annual installments beginning as of 11/13/01. /s/ Gerald A. Eppner 02/11/03 ------------------------------------------ --------------------------- ** Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. Page 2 of 2 SEC 2270 (01-02)
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